{"id":7671,"date":"2019-01-28T12:39:05","date_gmt":"2019-01-28T17:39:05","guid":{"rendered":"https:\/\/www.silverlaw.com\/blog\/?p=7671"},"modified":"2019-01-28T12:39:05","modified_gmt":"2019-01-28T17:39:05","slug":"finra-suspends-fines-broker-ian-greenblatt-for-selling-away","status":"publish","type":"post","link":"https:\/\/www.silverlaw.com\/blog\/finra-suspends-fines-broker-ian-greenblatt-for-selling-away\/","title":{"rendered":"FINRA Suspends, Fines Broker Ian Greenblatt For Selling Away"},"content":{"rendered":"

Ian Greenblatt (CRD #2276966<\/a>, aka \u201cEric Green\u201d) is a registered broker currently employed with Capitol Securities Management, Inc. (CRD #14169) of Melville, NY. His previous employers include Capitol Securities & Associates, Inc. (CRD #7278), Westrock Advisors, Inc. (CRD #114338, expelled by FINRA on 1\/18\/2011), both of Melville, NY and Weatherly Securities Corporation (CRD #11081), of New York, NY.\u00a0 He has been in the industry since 1992.<\/p>\n

\"FINRA-Permanently-Bars-Barry-Hartman-From-Securities-Activity-for-Alleged-\u201cSelling-Away\u201d-Activities-300x209\"FINRA recently suspended Greenblatt for 30 days after he attempted to settle a customer complaint away from the firm in March 2016. After two of his customers complained about the firm and the loss of $170,000 from their brokerage account, he failed to discuss this complaint with his firm. Greenblatt visited these customers and gave them $4,000 in cash and a check for $46,000 to their son, who is not a firm customer nor one of Greenblatt\u2019s.<\/p>\n

During the meeting, they allegedly discussed re-investing their funds to try and recover the losses they suffered with the firm by depositing the money with CSMI\u2019s clearing firm. Unfortunately, Greenblatt was not able to recover their losses, and the customers filed for arbitration against Greenblatt in August of 2017.<\/p>\n

Continue reading \u203a<\/a><\/div>\n","protected":false},"excerpt":{"rendered":"

Ian Greenblatt (CRD #2276966, aka \u201cEric Green\u201d) is a registered broker currently employed with Capitol Securities Management, Inc. (CRD #14169) of Melville, NY. His previous employers include Capitol Securities & Associates, Inc. (CRD #7278), Westrock Advisors, Inc. (CRD #114338, expelled by FINRA on 1\/18\/2011), both of Melville, NY and Weatherly Securities Corporation (CRD #11081), of […]<\/p>\n","protected":false},"author":2,"featured_media":0,"comment_status":"closed","ping_status":"closed","sticky":false,"template":"","format":"standard","meta":{"footnotes":""},"categories":[584,580],"tags":[1490,1489,1492,1359,1488,1491,97],"class_list":["post-7671","post","type-post","status-publish","format-standard","hentry","category-selling-away","category-stockbroker-misconduct","tag-capitol-securities-management","tag-eric-green","tag-eric-green-capitol-securities-management","tag-finra-arbitration-lawyer","tag-ian-greenblatt","tag-ian-greenblatt-capitol-securities-management","tag-selling-away"],"yoast_head":"\nFINRA Suspends, Fines Broker Ian Greenblatt For Selling Away — Securities Arbitration Lawyers Blog — January 28, 2019<\/title>\n<meta name=\"description\" content=\"Ian Greenblatt (CRD #2276966, aka \u201cEric Green\u201d) is a registered broker currently employed with Capitol Securities Management, Inc. (CRD #14169) of — January 28, 2019\" \/>\n<meta name=\"robots\" content=\"index, follow, max-snippet:-1, max-image-preview:large, max-video-preview:-1\" \/>\n<link rel=\"canonical\" href=\"https:\/\/www.silverlaw.com\/blog\/finra-suspends-fines-broker-ian-greenblatt-for-selling-away\/\" \/>\n<meta name=\"twitter:card\" content=\"summary_large_image\" \/>\n<meta name=\"twitter:title\" content=\"FINRA Suspends, Fines Broker Ian Greenblatt For Selling Away — Securities Arbitration Lawyers Blog — January 28, 2019\" \/>\n<meta name=\"twitter:description\" content=\"Ian Greenblatt (CRD #2276966, aka \u201cEric Green\u201d) is a registered broker currently employed with Capitol Securities Management, Inc. 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